巴塞尔银行监管委员会文献汇编 英文版电子书籍txtpdf网盘下载网站

前言

This document is a revised and updated version of the Compendium of Basel Committee documents that was first issued in April 1997*Progressively over recent years, the Basel Committee on Banking Supervision, which has thirteen member countries, has been tively expanding its links with supervisors in nonmember countries with a view to strengthening prudential supervisory standards in all the major markets* These efforts have taken a number of different forms, including:the development and dissemination throughout the world of policy papers on a wide range of supervisory matters;the creation of a cle work of worldwide supervisory authorities, who meet in an international conference every two years;the pursuit of supervisory cooperation at local level through the creation of regional supervisory mittees and tive support for their tivities;the increasing provision of supervisory training both in Basel and at regional or local level*As these contts have developed, the pronouncements of the Basel Committee have bee more and more influential as standards to which supervisory authorities, both in developed countries and in the emerging markets, aspire* Their credibility has been supported by the principle that all the material propals are subject to a consultative process, in which the private sector and supervisory authorities, including the from the non-G10 countries, have an opportunity to provide input*

内容概要

　　This document is a revised and updated version of the Compendium of Basel Committee documents that was first issued in April 1997*　　Progressively over recent years, the Basel Committee on Banking Supervision, which has thirteen member countries, has been tively expanding its links with supervisors in nonmember countries with a view to strengthening prudential supervisory standards in all the major markets* These efforts have taken a number of different forms, including：　　the development and dissemination throughout the world of policy papers on a wide　range of supervisory matters*

书籍目录

PrefeHistory of the Basel Committee and its membership ( March 2001 )Core Principles for effective banking supervision (September 1997)Core Principles Methodology (October 1999)Volume One: Basic supervisory methodsChapter Ⅰ: Capital adequy and consolidationInternational convergence of capital measurement and capital standards (July1988, updated to April 1998)Consolidated supervision of banks international tivities (March 1979)Propals for the inclusion of general provisions/general loan-ls reserves in capital (February 1991)Chapter Ⅱ: Management of credit riskMeasuring and controlling large credit expures (January 1991 )Management of banks international lending: ( March 1982)Sound Prtices for banks intertions with highly leveraged institutions( January 1999)Asset transfers and securitisation (September 1992)Principles for the management of credit risk ( September 2000)Chapter Ⅲ: Management of other core banking risksFramework for internal control systems in banking anisations( September 1998)Supervision of banks foreign exchange pitions (August 1980)Principles for the management of interest rate risk ( September 1997)The management of banks off-balance-sheet expures (March 1986)Risks in puter and telemunication systems (July 1989)Prevention of criminal use of the banking system for the purpe of money-laundering ( December 1988) Enhancing corporate ernance for banking anisations( September 1999)Sound prtices for managing liquidity in banking anisations( February 2000)Best prtices for credit risk disclure (September 2000)Supervisory guidance for managing settlement risk in foreign exchange transtions ( September 2000)Chapter Ⅳ: Transparency and aounting Enhancing bank transparency (September 1998)Sound prtices for loan aounting and disclure (July 1999)Volume Two: Advanced supervisory methods Chapter I: Management of derivative and off-balance-sheet risksRisk management guidelines for derivatives (July 1994)Framework for supervisory information about derivatives and trading tivities ( September 1998)Remendations for public disclure of the trading and derivatives tivities of banks and securities firms ( October 1999)Trading and derivatives disclures of banks and securities firms ( December 1999)Risk management for electronic banking and electronic money tivities ( March 1998)Chapter Ⅱ: Capital adequyOverview of the Amendment to the Capital Aord to incorporate market risks (January 1996, updated to April 1998)Amendment to the Capital Aord to incorporate market risks (January 1996,updated to April 1998)Supervisory framework for the use of "bktesting" in conjunction with the internal models approh to market risk capital requirements(January1996)An internal model-based approh to market risk capital requirements( April 1995 )Interpretation of the Capital Aord for the multilateral ting of forward value foreign exchange transtions (April 1996)Volume Three: International supervisory issuesChapter Ⅰ: The Basel Concordat and Minimum StandardsAuthorisation procres for banks foreign establishments (March 1983 )Principles for the supervision of banks foreign establishments ( the "Concordat" )( May 1983 )Information flows between banking supervisory authorities (Supplement to the Concordat) ( April 1990)Minimum Standards for the supervision of international banking groups and their crs-border establishments (July 1992)The supervision of crs-border banking ( October 1996)Chapter Ⅱ: Relations with other financial market supervisorsExchanges of information between banking and securities supervisors ( April 1990)Basle/IOSCO Joint Statement for the Lyon Summit (May 1996 )Joint Forum on financial conglomerates (September 1998)Chapter Ⅲ: Other international supervisory issuesThe relationship between bank supervisors and external auditors (July 1989)Depit protection schemes in the member countries of the Basle Committee( June 1998)The insolvency liquidation of a multinational bank (December 1992)Committee documents not included in this pendium

章节摘录

B*Operating Plan, Systems of Control and Internal OrganisationAnother element to review during the licensing process is the operations and strategies proped for the bank* The operating plan should describe and analyse the market area from which the bank expects to draw the majority of its business and establish a strategy for the banks ongoing operations* The application should also describe how the bank will be anised and controlled internally* The licensing agency should determine if these arrangements are consistent with the proped strategy and should also determine whether adequate internal policies and procres have been developed and adequate resources deployed* This should include determining that appropriate corporate ernance will be in ple （a management structure with clear aountability, a board of directors with ability to provide an independent check on management, and independent audit and pliance functions） and that the "four eyes" principle （segregation of various functions, crs-checking, dual control of assets, double signatures, etc*） will be followed* It is essential to determine that the legal and operational structures will not inhibit supervision on either a solo or consolidated basis and that the supervisor will have adequate aess to management and information* For this reason, supervisors should not grant a licence to a bank when the head office will be located outside its jurisdiction unless the supervisor is assured that it will have adequate aess to management and information* （See Section E below for licensing of banks incorporated abroad*）

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